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SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

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EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

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SUP 1A.4 Tools of supervision

As Published: 2013

SUP 1A.4 Tools of supervision

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GENPRU 3.2 Third-country groups

As Published: 2007

GENPRU 3.2 Third-country groups

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COLL 5.2 General investment powers and limits for UCITS schemes

As Published: 2005

COLL 5.2 General investment powers and limits for UCITS schemes

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SUP 10C.13 Variation of conditional and time-limited approvals

As Published: 2015

SUP 10C.13 Variation of conditional and time-limited approvals

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DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

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COBS 5.2 E-Commerce

As Published: 2007

COBS 5.2 E-Commerce

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SUP 10C.10 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10C.10 Application for approval and withdrawing an application for approval

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SUP 3.1 Application

As Published: 2001

SUP 3.1 Application

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EG 13.12 Insolvency regime and relevant sections of the Act

As Published: 2016

EG 13.12 Insolvency regime and relevant sections of the Act

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SUP 8A.1 Application, purpose and interpretation

As Published: 2014

SUP 8A.1 Application, purpose and interpretation

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SUP 8A.2 Introduction and conditions

As Published: 2014

SUP 8A.2 Introduction and conditions

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COLL 8.3 Investor relations

As Published: 2006

COLL 8.3 Investor relations

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COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

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RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

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PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

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MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

As Published: 2007

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

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REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification

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SUP 10A.16 How to apply for approval and give notifications

As Published: 2014

SUP 10A.16 How to apply for approval and give notifications

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